A prominent firm in the investment banking and capital markets sector is looking for an Internal Compliance Officer to join the team. This firm is widely regarded as a leader in the space and is consistently at the top of league tables within the Finance industry. You will be part of a tight-knit team that helps the business shape its strategy behind much of its operations and therefore will impact the company's bottom line in a significant way. This pivotal role involves advising, implementing, testing policies/practices across various financial products.
Responsibilities:
- Regulatory Guidance: Offer expert guidance to senior business leaders as well as sales/trading staff.
- Liaison Expertise: Partner effectively with new accounts teams concerning customer onboarding and documentation complexities.
- Policies & Training Development: Update key compliance manuals, crafting educational materials that keep pace with regulatory shifts.
- Cross Functional: Consult with Legal and other support functions for comprehensive transaction oversight and work alongside the Business Control Group to oversee important functions.
Requirements:
- Bachelor's degree
- 5+ years of applicable experience in a broker dealer/ sales / trading compliance role
- Familiarity with Fidessa and Bloomberg TOMS, or other broker-dealer system
- In-depth familiarity with regulatory frameworks and SEC, MSRB, FINRA, and Exchange regulations
- Enthusiasm for in-office presence (4-days onsite)
